Ana M. Melo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ana Maria Melo, who also goes by Ana Maria Cascio, Ana Maria Melo Cascio, was a registered financial professional .
Ana is a previously registered financial professional and started their career in finance in 1992. Ana had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - March 6, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
October 8, 2010 - October 30, 2015
BRILL SECURITIES, INC.
January 5, 2004 - October 4, 2010
WESTROCK ADVISORS, INC.
March 28, 2001 - December 31, 2003
CORINTHIAN PARTNERS, L.L.C.
June 30, 2000 - March 23, 2001
HAPOALIM SECURITIES USA, INC.
October 28, 1992 - July 6, 2000
JOSEPHTHAL & CO., INC.
April 8, 1992 - October 26, 1992
PARAGON CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
